RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
C•••• G••••••• B•••••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince May 1, 2009 · San Francisco, Ca
- P•••••• W••••• A•••••••• I••• unclassifiedJan 12, 2009 to Mar 19, 2009 · San Francisco, Ca
- P•••••• C••••••••• G••••• I••• unclassifiedJul 31, 2006 to Dec 31, 2008 · San Francisco, Ca
- N•• A•••••• S•••••••• L•• formerOct 19, 2001 to Aug 7, 2006 · San Francisco, Ca
- P•••••• W••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Mar 19, 2009, registered May 1, 2009 (43 days) · Other
- P•••••• C••••••••• G••••• I••• to P•••••• W••••• A•••••••• I•••left Dec 31, 2008, registered Jan 12, 2009 (12 days) · Other
- N•• A•••••• S•••••••• L•• to P•••••• C••••••••• G••••• I•••left Aug 7, 2006, registered Jul 31, 2006 (-7 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address